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Paul Allan Davidson

CRD# 1406996·Registered 1985 - 2000
Previously Registered: Being a previously registered professional could mean that Paul is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Paul Allan Davidson, who also goes by Paul Allen Davidson, was a registered financial advisor. Paul was a previously registered financial professional and started their career in finance 1985 - 2000. Paul had worked at 7 firms and has passed the Series 63, Series 7, Series 24, Series 53 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Paul Allen Davidson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

AMERICAN GENERAL SECURITIES INCORPORATED·CRD# 13626
BD
Phoenix, AZ
April 23, 1998 - August 1, 2000
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
St. Paul, MN
September 21, 1995 - April 14, 1998
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
May 5, 1994 - September 11, 1995
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
March 4, 1993 - May 10, 1994
NEW ENGLAND SECURITIES·CRD# 615
BD
New York, NY
January 2, 1991 - March 30, 1993
HOME SHOPPING CLUB SECURITIES, INC.·CRD# 15081
BD
June 30, 1988 - May 23, 1989
SOURCE SECURITIES, INC.·CRD# 8026
BD
September 25, 1985 - May 24, 1988

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Current Firm

AG
AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED | AMERICAN GENERAL SECURITIES, INCORPORATED

CRD#: 13626 / SEC#: 8-29542
BD
Terminated by SEC on 01/24/2009

Contact Information

Established

Texas since 03/08/1983

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AIG ADVISOR GROUP, INC.OWNER—
AULD, JEFFREY MICHAELPRESIDENT, CEO857528
BROWN, JAMES BURKESENIOR VICE PRESIDENT1664825
DENBY, SUSANNE MARIEFIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER2617514
HARRELL, JERI MICHELLEASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING—
HOLLAR, RICHARD ALLENDIRECTOR248628
LONG, CRAIG MCCUTCHEONANTI-MONEY LAUNDERING COMPLIANCE OFFICER1406115
NIXON, CHRISTINEDIRECTOR—
PARKER, RALPH JOELASSISTANT VICE PRESIDENT2587496
ROTHSTEIN, STEVEN ELLIOTCHIEF FINANCIAL OFFICER, DIRECTOR1292456
SORKIN, NOAH DAVIDSENIOR VICE PRESIDENT, GENERAL COUNSEL1832767
TUCK, ELIZABETH MARGARETASSISTANT SECRETARY4075693
WILLIAMS, DANIEL ONIELVICE PRESIDENT, TREASURER—
WINTER, MATTHEW EVANDIRECTOR2598136

Disclosures

Regulatory Event

5

Arbitration

5

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1985About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1994About the Series 24 exam

Series 53 — Municipal Securities Principal Examination

Passed May 1987About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1987About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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